Tag: investment adviser recordkeeping
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Understanding the SEC’s Proposed Cybersecurity Rule for Investment Advisers and Registered Investment Companies
The U.S. Securities and Exchange Commission (SEC) has proposed a significant cybersecurity rule (Release No. 33-11028) aimed at registered investment advisers (RIAs), investment companies, and business development companies. This proposed rule underscores the increasing focus on cybersecurity risk management in the financial sector and introduces new requirements for firms to strengthen their cybersecurity posture. The… Read more